Thompson Capital Management

Thompson Capital Management is a state-registered startup investment adviser that offers tailored portfolio development, discretionary portfolio management, ongoing monitoring, and account communication to individuals and small corporations. The firm’s stated investable universe includes cash equivalents, exchange-traded funds, mutual funds, stocks, bonds and equity or index options, and new clients are asked to complete an investor profile to define objectives and constraints.

The firm emphasizes asset allocation and diversification as core principles while treating targets as flexible ranges, and it combines fundamental and technical analysis—reporting that technical signals are the primary timing tool. It favors ETFs and no-load mutual funds for diversification, uses short- and intermediate-term fixed income (including fixed-maturity and laddered ETFs) for income, and applies covered-call and call-put collar option strategies sparingly for income or downside protection.

Noteworthy distinctions include its single-advisor governance model, with the founder serving as both the firm’s chief investment officer and chief compliance officer, and its startup status (no assets under management at filing), which the brochure says affects access to institutional trading benefits and influences execution practices. The firm also bills clients directly (clients initiate payment rather than the adviser debiting custodian accounts) and highlights proprietary technical screening tools and selective options overlays—features that are less common among managers that primarily run pooled or institutional strategies.